Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Manager of certification employee (since 21 Aug 2020)
- [FCA CF] Client dealing (since 6 Mar 2020)
- [FCA CF] Functions requiring qualifications (since 6 Mar 2020)
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- CF30 Customer (12 Jan 2010 to 8 Dec 2019)
Recent activity
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